Integrated Financial Group (Atlanta, GA) Seeking Compliance Analyst

February 29, 2024

Overview and Company:
Are you ready to play a pivotal role in shaping the future of compliance in financial services? Join our team as a Compliance Analyst, and you’ll have the opportunity to do just that. Your primary responsibilities will be to promote our vision, maintain our culture, and keep Integrated Financial Group at the cutting edge of compliance matters.

In this role, you’ll assist the Office of Supervisory Jurisdiction (OSJ) with supervision for custodian LPL Financial and manage compliance activities for IFG Advisory’s Registered Investment Advisor (RIA). Your efforts will be instrumental in ensuring strict adherence to regulatory standards, managing risk, and maintaining the highest level of integrity in our operations.

Integrated Financial Group (IFG) is a leading financial planning organization established in 2003. Our distinguished group of IFG planner members, known as The Brain Trust, actively share their professional expertise and insights within the collective. Through our unique culture, IFG encourages advisor engagement, collaboration, and continuous growth.

At IFG, we firmly believe that our peers are our most valuable educators. We foster a supportive environment that facilitates peer-to-peer interaction through initiatives like our Annual Retreat, MasterMind Groups, and various opportunities for exchange. These interactions empower IFG Independent Financial Planners to refine their skills and expand their businesses.

Key Responsibilities:

1. Understanding and keeping updated on industry regulations including changes to FINRA, SEC, DOL, and state regulations impacting IFG’s OSJ and RIA.
2. Gaining comprehensive knowledge about the IFG Advisory and LPL Compliance Manual, and OSJ User Guide.
3. Participating in LPL Monthly Supervision conference calls and outside consultant’s webinars regarding compliance matters.
4. Managing the review and approval of OSJ functions for LPL Financial.
5. Assisting Director of RIA Compliance with internal audits and compliance tasks for IFG RIA.
6. Providing excellent service to our advisors and staff by providing education, answering questions and requests.

Skills & Qualifications:

1. Bachelor’s degree
2. Series 7 and 24 Licenses
3. 3-5 years of compliance/supervision experience
4. Excellent communication skills, both verbal and written
5. Detail-oriented and organizational skills
6. Independent and team player

Personal Qualities:

1. Ethical, coachable, and open to change
2. Takes pride in their work and is detail-oriented
3. Easy to get along with and community-oriented
4. Self-motivated and professional
5. Confident, caring, and engaging

We look forward to your application. IFG is an equal-opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran, or disability status.